CRD #7524 · FINRA BrokerCheck + SEC IAPD

First Kentucky Securities Corporation

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, First Kentucky Securities Corporation ranks #517 of 20,055 by disclosure count (most disclosures first). Among firms registered in KY, it ranks #1 of 8 on the same disclosure sort used on the state browse page. First Kentucky Securities Corporation carries 13 BrokerCheck disclosures across 5 branch offices - elevated load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
5
branch offices
13
disclosures
#517 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 7524 First Kentucky Securities Corporation

First Kentucky Securities Corporation · Grade C · 13 disc · 2.60/office · Small firm

  • CRD 7524
  • GRADE C
  • DISC 13
  • REG 10
  • ARB 3
  • CIV 0
  • BRANCH 5
  • PER-OFF 2.60
  • RANK #517 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Baron Capital, Inc. (2.67 disc/office)

Baron Capital, Inc.2.67Boston Partners Securit…2.67Isaak Bond Investments,…2.67First Kentucky Secu… (this)2.60
Disclosures per office among small firm peers (lower is cleaner)

First Kentucky Securities Corporation ranks #517 of 20,055 by disclosure count among graded broker-dealers; elevated load at 2.60 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

5 offices

FINRA: Small firm

Total disclosures

13 events

On FINRA BrokerCheck

Regulatory events

10 actions

77% of all disclosures

Disclosures per office

2.60 per office

13 ÷ 5 offices

First Kentucky Securities Corporation vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

3 a cleaner per-office record than 7% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). Below this entry. 2–3: 14 disclosing firms (1%). Below this entry. 3–3: 24 disclosing firms (2%). This entry sits in this band. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 10
Arbitrations 3
Civil Events 0
Total 13

Counts for First Kentucky Securities Corporation reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 10 Arbitration 3 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Louisville, KY
CRD Number
7524

Elevated disclosures per office

First Kentucky Securities Corporation in the heavier-disclosure third

First Kentucky Securities Corporation carries 13 BrokerCheck disclosures across 5 branch offices - a heavier-third raw book among graded firms (#517 of 20,055). Regulator-initiated events are 77% of the book (10 regulatory / 3 arbitration / 0 civil).

First Kentucky Securities Corporation runs 2.60 disclosures per branch office (cleaner than only 93% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of First Kentucky Securities Corporation's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Kentucky cohort · 5.20× state average

First Kentucky Securities Corporation sits above the Kentucky disclosure average

First Kentucky Securities Corporation reports 13 BrokerCheck disclosures, 5.20× the Kentucky average of 2.5 across 8 graded firms with a principal-office state on file.

In Kentucky, 2 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Kentucky state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does First Kentucky Securities Corporation sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, First Kentucky Securities Corporation ranks #517 of 20,055 by disclosure count (most disclosures first). Among firms registered in KY, it ranks #1 of 8 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for First Kentucky Securities Corporation?
A grade of C reflects First Kentucky Securities Corporation's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 13 total disclosures across 5 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does First Kentucky Securities Corporation have?
First Kentucky Securities Corporation has 13 total FINRA disclosures, including 10 regulatory events, 3 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is First Kentucky Securities Corporation?
First Kentucky Securities Corporation operates 5 branch offices and is classified by FINRA as a small firm, registered in KY (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify First Kentucky Securities Corporation's disciplinary record?
You can verify First Kentucky Securities Corporation's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 7524. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). First Kentucky Securities Corporation's 13 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid First Kentucky Securities Corporation because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. First Kentucky Securities Corporation carries 13 disclosures across 5 branch offices (about 2.60 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for First Kentucky Securities Corporation, both outside KY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Baron Capital, Inc. (NY) - 2.67 disclosures/office, nearest small firm peer to First Kentucky Securities Corporation's 2.60
  • Boston Partners Securities, L.L.C. (MA) - 2.67 disclosures/office, nearest small firm peer to First Kentucky Securities Corporation's 2.60
  • Isaak Bond Investments, Inc. (CO) - 2.67 disclosures/office, nearest small firm peer to First Kentucky Securities Corporation's 2.60
  • Firms in KY - state roster that includes First Kentucky Securities Corporation's registration home.
  • Red Flags in Advisor Records - How to read First Kentucky Securities Corporation's elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 13 disclosures behind First Kentucky Securities Corporation's Grade C.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as First Kentucky Securities Corporation.
  • Compare firms - put First Kentucky Securities Corporation next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.